Mr. Eric Kretz, Deputy Director

Continuity of Operations Division

National Continuity Programs Directorate

DHS/FEMA

August 13, 2009

Arising from the Ashes/Flood: COOP Planning for Archives

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FEMA National Continuity ProgramsDHS/FEMA National Continuity Programs and Continuity Planning:

The Federal Emergency Management Agency is identified in National Security Presidential Directive-51 / Homeland Security Presidential Directive-20, as the lead agent for the Federal Executive Branch, responsible for implementing the nation’s continuity policy.

Through the National Continuity Policy Implementation Plan, signed by the President in August 2007, the Continuity of Operations Division coordinates with Federal, State, territorial, tribal and local governments in an effort to enhance the nation’s continuity capabilities by providing guidance in the development and management of continuity plans to assist both Federal and non-Federal entities in their ability to perform essential functions during all-hazards and emergencies.

Vital records are a critical component to a viable continuity plan and the nation’s overall continuity capabilities and support to the National Response Framework.

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National Response Framework (NRF)The National Response Framework (NRF) [or Framework] is a guide to how the Nation conducts all-hazards response.

It is built upon scalable, flexible, and adaptable coordinating structures to align key roles and responsibilities across the Nation. It describes specific authorities and best practices for managing incidents that range from the serious but purely local, to large-scale terrorist attacks or catastrophic natural disasters.

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Continuity of Operations PlanGovernments at all levels have a responsibility to develop detailed, robust, all-hazards response plans.

These plans should have clearly defined leadership roles and responsibilities, and they should clearly articulate the decisions that need to be made, who will make them, and when.

These plans should include both hazard-specific as well as

comprehensive all-hazards plans that are tailored to each respective jurisdiction.

They should be integrated, operational, and incorporate key private-sector and NGO elements and persons with disabilities.

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Federal Continuity Directive 1 (FCD 1) Annex I of FCD 1 addresses

requirements for vital records programs to include the following key points for the Federal government: Create a vital records program Determine which records are

vital to operations Assign responsibility for the

identified vital records The vital records program must

be included in Continuity Plans

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FCD 1 Vital Records (cont’d)

Annex I of FCD 1 addresses requirements for vital records programs to include the following key points for the Federal government: Consider multiple redundant media Maintain a complete inventory of records, with a copy of this

inventory maintained at an alternate site Identify physical risks at current locations and identify offsite

storage requirements Lists of records recovery vendors/experts Include a vital records training program for all staff Annual testing of capabilities for protecting vital records and

accessing them from alternate facilities

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Continuity Guidance Circular 1 (CGC 1)

Annex I of CGC 1 addresses requirements for vital records programs that should include the following key points for the non-Federal Entities: Create a vital records program Determine which records are

vital to operations Assign responsibility for the

identified vital records The vital records program

should be included in Continuity Plans

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CGC 1 Vital Records (cont’d)

Annex I of CGC 1 addresses requirements for vital records programs that should include the following key points for the non-Federal Entities: Consider multiple redundant media Maintain a complete inventory of records, with a copy of this

inventory maintained at an alternate site Identify physical risks at current locations and identify offsite

storage requirements Lists of records recovery vendors/experts Include a vital records training program for all staff Annual testing of capabilities for protecting vital records and

accessing them from alternate facilities

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Defining Vital RecordsVital records, sometimes called essential records, are the

records necessary for the continuity of operations during and following a disaster. They are records an agency must have to maintain one or more of the following vital functions:

Document the organization’s legal

authorities, rights and responsibilities;

Resume or maintain operations in a

disaster or emergency situation;

Document the rights of individuals

(deeds, mortgages, court case files).

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Determining Vital RecordsThe essential functions of your organization will determine your vital

records. Examples of vital records may include:

Emergency/Continuity of Operations (COOP) plan Staff contact and assignment information such as names, addresses, and

phone numbers Orders of succession and delegations of authority Policies and procedural and systems manuals List of credit card holders to purchase needed supplies Maps and building plans Employee records, including financial and pay records Social security and retirement records Customer records Title, deeds, and contracts Licenses and long-term permits

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Vital records should not make up more than 10% of the total volume of records held by an organization

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Vital Records Plan: A Critical Component of a COOP Plan

Include a Vital Records Plan

in your organization’s COOP Plan.

Each organization’s functional

responsibilities and business

needs are different.

An organization must decide which

records are vital and assign responsibility

for their protection, storage, and upkeep

to the appropriate staff.

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Protecting Vital RecordsTo reduce your vulnerability,

determine which records, files,

and materials are most important

in both your primary and alternate

facilities. Consider their vulnerability

to damage during different types of

disasters, and take steps to protect

them.

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FEMA Resources FEMA provides multiple online

resources to include the document “Protecting your Business from Disasters”, which includes information on protecting records and inventory

Other sources of information: Emergency Management

Guide for Business & Industry, FEMA, 1996

Separate Flood Insurance a Must, FEMA, 1996

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National Level Exercise 2010 (NLE 10)Full-scale exercise (FSE) date: May 17–21, 2010

Participating venues National Capital Region (NCR): Headquarters elements of

Federal departments and agencies (D/As) Select States and localities in FEMA Region IX; primary venues

include Clark County, NV, and Los Angeles, California Potential international participants

Scenario concept Will utilize National Planning Scenario #1: Improvised Nuclear

Device

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Exercise Participation NCPIP requires that on an annual basis an integrated

continuity training exercise is developed and incorporated into the National Exercise Program, and the results are reported to the National Continuity Coordinator (NCC)

Federal Executive Branch D/As are required to participate in order to meet their annual exercise requirements

Others are encouraged to participate: Federal D/As outside of NCR Judicial and Legislative Branches State, tribal, and local governments Private sector organizations

NLE 10 offers a building block process into NLE 11 support to regional, State, tribal, and local continuity exercise planning.

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Regional Exercises All regional exercises have been developed with the FEBs

and FEMA, supported by contractors.

None of the exercises have been “one size-fits all”, but tailored to the specific needs of that particular FEB/FEA.

The regional exercises have benefited from the synergy of using the same support team, and lessons learned have been implemented quickly.

A database of regional exercise materials is under construction by the support team.

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Regional Exercises (cont’d)

Major exercises with FEMA and FEBs and FEAs during the past year:

Rising Storm – New York, 60 agencies and more than 1,000 participants Sound Response – Seattle, 48 agencies and more than 500 participants Liberty Down ’09 – Philadelphia, more than 300 participants and included

both a full-scale and table top exercise

Other FEB/FEMA exercises include Portland, OR (OR-Quake 09), Newark, NJ (Operation Allied Resilience), San Juan, PR (San Juan Resilience), Las Vegas, NV (Cardinal Royale), Pittsburgh, PA (Steele Resolve 09).

Upcoming regional exercises: Baltimore, MD (Charm Challenge09), Dallas-Ft Worth, TX (Touchdown Texas), St Louis, MO (Slice 10), Portland, OR (Without Warning 09)

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Continuity Training Courses are available for students at all levels, from those who are new to

continuity to those who have been involved with continuity for years

This training provides an opportunity for personnel to develop and enhance their continuity knowledge and helps prepare them to respond to events requiring continuity of operations activation

Training is offered online and in classrooms and covers continuity awareness, exercise design, and planning, documentation, and alternate site preparedness and activities

Train-the-Trainer courses are also offered

www.training.fema.gov

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Continuity Courses IS 546: Continuity of Operations Awareness Course

IS 547: Introduction to Continuity of Operations

IS/G 139: Exercise Design Course (Continuity of Operations)

B/E/L 548: Continuity Managers Train-the-Trainer Course

B/E/L 550: Continuity Planners Train-the-Trainer Course

B/E/L 551: Devolution Planning Train-the-Trainer Course

B/E/L 156: Continuity of Operations Building Design for Homeland Security Train-the-Trainer Course

For more information, contact Willie York at willie.york@dhs.gov

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Continuity of Excellence Series On April 16, 2008, the FEMA Administrator established the

Continuity Excellence Series

Level I, Professional Continuity Practitioner and Level II, Master Continuity Practitioner Programs

These programs are designed to enhance excellence in the development and implementation of the Nation’s continuity programs

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Professional Continuity PractitionerContinuity Excellence Series – Level I:

IS 546: COOP Awareness Course IS 547: Introduction to COOP IS 242 or equivalent E/L course: Effective Communication E/L 548: COOP Manager’s T-t-T Course or E/G/L 549: Continuity of Operations

(COOP) Program Manager Course or University of Maryland Preparing the States Continuity Courses

E/L 550: COOP Planner’s T-t-T Workshop IS 100: Intro to Incident Command System (ICS) or ICS 100: Introduction to Incident

Command System (ICS) or ICS 200: Incident Command System (ICS) for Single Resources and Initial Action Incidents

IS 230 or equivalent E/L course: Principles of Emergency Management IS 700.a: Intro to National Incident Management System (NIMS) or IS 700 IS 800-B: A National Response Framework (NRF), An Introduction E 136 or IS 139: Exercise Development Course/Exercise Design Course/or COOP

Exercise Design/Development T-t-T Course Complete attendance in continuity exercise Determined Accord ** NARA/CoSA Vital Records Training (optional, recommended)

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Master Continuity PractitionerContinuity Excellence Series – Level II:

Applicants must attain a Continuity Excellence Series – Level I, Professional Continuity Practitioner

IS 130: Exercise Evaluation and Improvement Planning or E132 (limited to EMI Resident MEPP candidates) or G130: Exercise Evaluation

IS 240 or equivalent E/L course: Leadership and Influence E/L 551: Devolution Training E/L 156: Building Design for Homeland Security T-t-T Course for Continuity of

Operations or E/L 155: Building Design for Homeland Security E/L 262: Instructional Delivery for Subject Matter Experts or G265: Instructional

Delivery Skills (formerly G261: Instructional Presentation Skills) *** Instruct COOP Manager’s T-t-T Course *** Facilitate COOP Planner’s T-t-T Workshop *** Written Comprehensive Exam (150 questions) – Applicants are eligible to take the

comprehensive exam once they have met all other Level II requirements

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Continuity Practitioner Certificates The FEMA Emergency Management Institute will issue all certificates

Send certificate requests and supporting documentation (not originals) to Ellen Newlin at ellen.newlin@dhs.gov; fax: 301-447-1598

Include your name, work address, work phone number, and e-mail with your request

Expect to wait up to one month to receive your certificate

Send questions or issues to our FEMA NCP training contact: Willie York: willie.york@dhs.gov; 202-646-4163

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FEMA HQ Points of Contact National Continuity of Operations Division: Rex Wamsley, Director

(202) 646-2897rex.wamsley@dhs.gov

Eric Kretz, Deputy Director

(202) 646-3754eric.kretz@dhs.gov

State, Territorial, Tribal, and Local Branch: James Opaczewski, Chief(202) 646-4128j

ames.opaczewski@dhs.gov

Federal Branch: Matthew Smith, Chief(202) 646-3685mattthew.smith@dhs.gov

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FEMA Region IPatrick W. Mooney99 High Street, Room 510Boston, MA 02110(617) 832-4798Patrick.mooney@dhs.gov

FEMA Region VIBrad McDannald, 800 N. Loop 288Denton, TX 76209 (940) 898-5131BradR.mcdannald@dhs.gov

FEMA Region IIRussell Fox, 26 Federal Plaza, Room 1337 New York, NY 10278(212) 680-8504Rusell.fox@dhs.gov

FEMA Region VIIDavid Teska, 9221 Ward Parkway, Suite 300Kansas City, MO 64114(816) 283-7082David.teska@dhs.gov

FEMA Region IIIMike Hajdak, 615 Chestnut Street, Sixth FloorPhiladelphia, PA 19106(215) 931-5605Micheal.hajdak@dhs.gov

FEMA Region VIIIKen Hudson, Denver Federal Center, Bldg 710, Room 231Denver, CO 80228, (303) 235-4658Ken.hudson@dhs.gov

FEMA Region IVJoseph Canoles, 3003 Chamblee Tucker Road Atlanta, GA  30341(770) 220-5453Joseph.canoles@dhs.gov

FEMA Region IXJames Macaulay, 1111 Broadway, Suite 1200Oakland, CA 94607, (510) 627-7009James.macaulay@dhs.gov

FEMA Region VSean O’Leary, 536 S. Clark Street, Sixth Floor Chicago, IL 60605 (312) 408-5389Sean.oleary@dhs.gov

FEMA Region XJune Olson, 130 228th Street, S.W.Bothell, WA  98021 (425) 482-3721June.uson@dhs.gov

Regional Continuity Managers